Financial services regulatory

Navigating complexity to deliver you insight

The financial services value chain is a highly regulated sector, and the regulation is voluminous, prescriptive and evolving (sometimes rapidly). The severe penalties for compliance failures or poor conduct, has a significant impact on regulated firms' strategy, operations and its customers' experience – a state which shows no sign of changing in the foreseeable future.

Our dedicated team of financial services experts bring an unrivalled amount of experience in advising leading financial institutions on the most complex and innovative legal issues.

We are the expert of choice to resolve complex and large-scale projects particularly where clients need skilled practitioners to partner with them to navigate and provide innovative, timely and cost-effective solutions. Our expertise is also sought when clients require industry leading expertise on regulatory matters to ensure that they achieve the optimal outcome. That is why we are the go to firm for many leading financial institutions.

Where required we also have an integrated data analytics capability, one of the largest of its type in Australia. This means our clients have the benefit of data informed legal advice and regulatory response from a single law firm. Our data analytics experts specialise in the financial services sector, supporting clients on some of their most critical regulatory and legal challenges, including remediation, financial crime, and data management.

We cover the full gamut of financial services regulation including Anti-Money Laundering and Counter Terrorism Financing Act, Chapters 5C and 7 of the Corporations Act, the ASIC Act, National Consumer Credit Protection Act, Insurance Act, Life Insurance Act and the Privacy Act. Our pre-eminence is reflected by that fact that for over 20 years, we have been the advisor of choice for Australia's central bank, The Reserve Bank of Australia, particularly in the regulation of payment systems.

Simply, we help you achieve your ambitions and resolve issues so that you can get on doing what you do best.

image Financial Accountability Regime delayed as the Government reconsiders civil penalties for individuals

Navigating complexity to deliver you insight

Regulatory Change & Compliance Advisory Regulatory Change & Compliance Advisory
Regulatory Transaction Support Regulatory Transaction Support
Governance and Risk Management Governance and Risk Management
Enforcement, Investigations and Disputes

Recognition

Band 1

Financial Services Regulation
Chambers Asia Pacific

Tier 1

Financial Services Regulatory
Legal 500 Asia Pacific

Tier 1

Dispute Resolution: litigation
Legal 500 Asia Pacific

Clayton Utz has a standout reputation in a wide range of financial services regulatory work, with a client base that includes the biggest financial institutions in Australia.
Legal 500 Asia Pacific, 2021

Knowledge & insights

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Financial Accountability Regime delayed as the Government reconsiders civil penalties for individuals

ARTICLE, 25 Nov 2022
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It’s time to determine the fate of the BNPL industry

ARTICLE, 24 Nov 2022
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ASIC launches first case testing crypto regulation powers

ARTICLE, 17 Nov 2022
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The changing landscape of financial services: The new Federal Government’s view

ARTICLE, 24 Aug 2022
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ASIC won’t “name and shame” in new breach reporting regime (for now) and pursues more industry consultation and guidance

ARTICLE, 18 Aug 2022

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